Job Description
Join our elite compliance team in Jersey City and shape financial regulatory excellence! We provide all necessary equipment including ergonomic workstations, dual monitors, secure laptops, and specialized compliance software. As a key guardian of regulatory standards, you'll ensure adherence to FINRA, SEC, and internal policies while driving innovation in compliance frameworks.
Responsibilities
- Develop and implement robust compliance programs for financial products and services
- Conduct risk assessments and regulatory impact analyses
- Monitor transaction patterns and identify potential compliance breaches
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on evolving compliance requirements and best practices
- Collaborate with legal, audit, and risk management teams
- Lead internal audits and compliance monitoring initiatives
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Expert knowledge of SEC, FINRA, and AML regulations
- Advanced proficiency in compliance software (e.g., NASD CRD, Actimize)
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills